Recording Assignments

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO-1595 Patent Recordation Form Cover Sheet	Form and Instruction	Modified	Available
Form PTO-1594 Electronic Trademark Assignment System (ETAS)	Form and Instruction	New	Available
Form PTO-1595 Electronic Patent Assignment System (EPAS)	Form and Instruction	New	Available
Form PTO-1594 Trademark Recordation Form Cover Sheet	Form and Instruction	New	Available
0027-JustStmt-2008-final.pdf	Supporting Statement A	Uploaded 2008-04-14	Available
USPTO-newinfoqualityguide.pdf	Supplementary Document	Uploaded 2008-04-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4698	Patent Recordation Form Cover Sheet	Form and Instruction	Modified	Patent Recordation Form Cover Sheet
184415	Electronic Trademark Assignment System (ETAS)	Form and Instruction	New	Electronic Trademark Assignment System (ETAS)
184414	Electronic Patent Assignment System (EPAS)	Form and Instruction	New	Electronic Patent Assignment System (EPAS)
184413	Trademark Recordation Form Cover Sheet	Form and Instruction	New	Trademark Recordation Form Cover Sheet

ICR Details

OMB Control No: 0651-0027	ICR Reference No: 200804-0651-001
Status: Historical Active	Previous ICR Reference No: 200706-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Recording Assignments
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/25/2009
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/17/2008
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2012	36 Months From Approved	03/31/2009
Responses	363,388	0	331,294
Time Burden (Hours)	181,695	0	165,648
Cost Burden (Dollars)	27,165,603	0	23,165,000

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Abstract: Under 35 U.S.C. 261 and 262 and 15 U.S.C. 1057 and 1060, the USPTO records patent and trademark assignment documents that show the transfer of ownership of applications, patents, and trademark registrations from one entity to another. The USPTO provides cover sheets to ensure all the necessary assignment data is submitted for accurate recording. In order to file a request to record an assignment, the respondent must submit an appropriate cover sheet along with copies of the assignment documents to be recorded and payment of the appropriate fee. The recorded documents are available for public inspection, except for those documents that are sealed under secrecy orders or related to unpublished patent applications.

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Authorizing Statute(s): US Code: 35 USC 261 and 262
   US Code: 15 USC 1057 and 1060
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 4848	01/28/2008
30-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 18783	04/07/2008
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
Electronic Patent Assignment System (EPAS)	PTO-1595	Electronic Patent Assignment System (EPAS)
Electronic Trademark Assignment System (ETAS)	PTO-1594	Electronic Trademark Assignment System (ETAS)
Patent Recordation Form Cover Sheet	PTO-1595	Patent Recordation Form Cover Sheet
Trademark Recordation Form Cover Sheet	PTO-1594	Trademark Recordation Form Cover Sheet

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	363,388	331,294	0	-5,661	37,755	0
Annual Time Burden (Hours)	181,695	165,648	0	-2,831	18,878	0
Annual Cost Burden (Dollars)	27,165,603	23,165,000	0	-379,692	4,380,295	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Using Information Technology

Short Statement: The adjustments reported for this information collection are due to an overall net increase in expected filings for patent and trademark assignment requests. This net increase in filings includes an expected increase in electronic filings that is partially offset by an expected decrease in paper filings. The program changes reported for this information collection are due to a change in electronic filing technology used by the USPTO. Previously, customers could also submit patent assignment recordation requests securely over the Internet using special electronic filing software that was developed by the USPTO. Particularly large recordation requests that were prepared using the software could be copied onto a recordable compact disc (CD) and then submitted to the USPTO by mail. Since the USPTO has retired this electronic filing software in favor of the web-based filing system, the corresponding modes of submission are being deleted from this collection.

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Annual Cost to Federal Government: $3,189,503

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 04/17/2008

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